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Showing 641 - 650 of 940 results for "AFSL"

InFocus restructures to support growth

JAMIE WILLIAMSON  |  THURSDAY, 27 APR 2017
... Having also previously served as national manager of wealth management at Suncorp, Herbst will be responsible for Infocus' AFSL operations. Former BT Financial Group general manager VIC/TAS/ACT, Michael Corcoran, has also joined the InFocus team, managing ...

PayLogic signs new AFSL client

JAMIE WILLIAMSON  |  WEDNESDAY, 26 APR 2017
An independent advice dealer group is the latest to partner with AdviserLogic, now using its PayLogic software. Advisers licensed through InterPrac Financial Planning will now have access to the revenue management software, expanding AdviserLogic's ...

Advice dealer group hires state manager

KARREN VERGARA  |  THURSDAY, 20 APR 2017
... an open APL and our proprietary digital technology solutions," Arasaratnam said. "Advisers are resonating with our unique AFSL model as it deals with the real issues facing the industry right now. This has resulted in numerous enquiries from practices ...

FSC launches draft APL standard for risk advice

ALEX BURKE  |  THURSDAY, 13 APR 2017
... insurers and reduce potential conflicts of interest in life insurance advice. The standard explains further: "Although life AFSL members may have their own internal research and life insurance APL processes, there is no industry standard on best practice ...

Advisers to be judged by peers

JAMIE WILLIAMSON  |  WEDNESDAY, 12 APR 2017
... matters considered by the panel over time to include the power to issue infringement notices and refusal or cancellation of an AFSL or credit licence. ASIC chairman Greg Medcraft said the aim of the panel is to enhance the impact of ASIC's administrative ...

ASIC cancels responsible entity AFSL

EMMA RAPAPORT  |  WEDNESDAY, 12 APR 2017
The Australian Securities and Investment Commission cancelled the AFSL of a responsible entity for failing to comply with a number of its key obligations as a financial services licensee. The company, DD&D Securities, is the responsible entity for Dwyers ...

ASIC cancels suspended AFSL

EMMA RAPAPORT  |  THURSDAY, 6 APR 2017
ASIC has cancelled the Australian financial services licence of Parramatta-based company Rural & General Insurance Broking for failing to comply with legal obligations and licence conditions. The regulator found the company failed to lodge annual financial ...

Mobile education drives advice professionalism

JAMIE WILLIAMSON  |  WEDNESDAY, 5 APR 2017
... wealthdigital plans to deliver later this year. "The portal will become an end-to-end compliance and risk management system at the AFSL, practice and planner levels. In this way, the wealthdigital reference library will provide support, training, and ...

ASIC cancels AFSL licences

EMMA RAPAPORT  |  MONDAY, 27 MAR 2017
ASIC cancelled the Australian financial services licenses of two financial services companies for failure to comply with a number of key obligations. Rebate Financial Services, a Melbourne-based licensed securities dealer, and Capstone Capital, a Perth-based ...

Barclays fined following ASIC investigation

JAMIE WILLIAMSON  |  FRIDAY, 24 MAR 2017
... three Barclays foreign financial service providers for failing to inform Australian clients they were exempt from holding an AFSL. The enforceable undertaking was accepted following concerns that the Barclays entities - US-domiciled Barclays Capital ...